Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Carroll is a financial professional with over 25 years of experience in the financial services industry. Brian currently works at FIS Brokerage & Securities Services LLC. Brian has a strong understanding of the financial markets and a proven track record of helping clients achieve their financial goals. Brian is committed to providing personalized service and guidance to help clients make informed financial decisions.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
IL
12/09/2022 - Present
FIS Brokerage & Securities Services LLC (BOLINGBROOK IL)
NY
02/05/1998 - 02/13/2001
SWISS AMERICAN SECURITIES INC. (NEW YORK NY)
NY
09/07/1995 - 08/08/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 04/18/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/12/2023
Series 99TO - Operations Professional Examination
BC
Issued 12/09/2022
Series 7TO - General Securities Representative Examination
BC
Issued 11/04/2022
SIE - Securities Industry Essentials Examination
BC
Issued 06/23/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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